Form 4 for SMCI Supermicro
Accepted 2023-11-13 00:00:00 ET · period of report 2023-11-09 · accession 0001758554-23-000119 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-11-13 | 2023-11-09+ | SMCI | KAO GEORGE | SVP, Ops | M - OptEx | $13.00 | +3,856 | 7,623 | +102% | +$50.1K |
| DM | 2023-11-13 | 2023-11-10 | SMCI | KAO GEORGE | SVP, Ops | F - Tax | $266.03 | -439 | 7,260 | -6% | -$116.8K |
| D | 2023-11-13 | 2023-11-09 | SMCI | KAO GEORGE | SVP, Ops | S - Sale+OE | $275.76 | -3,747 | 6,815 | -35% | -$1.03M |
| DM | 2023-11-13 | 2023-11-09+ | SMCI | KAO GEORGE | SVP, Ops | M - OptEx | $0.00 | -3,856 | 2,198 | -64% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-11-10 | M | A | 152 | — | 6,967 | D | — | — | (F2) Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. |
| 2 | Common | Common Stock | 2023-11-10 | F | D | 76 | $266.03 | 6,891 | D | — | — | |
| 3 | Common | Common Stock | 2023-11-10 | F | D | 363 | $266.03 | 7,260 | D | — | — | |
| 4 | Common | Common Stock | 2023-11-09 | M | A | 2,972 | $13.00 | 10,562 | D | — | — | |
| 5 | Common | Common Stock | 2023-11-09 | S | D | 3,747 | $275.76 | 6,815 | D | — | — | (F1) The price reported here is a weighted average price. The shares were sold in multiple transactions at prices ranging from $275.75 to $276.03, inclusive. The reporting person undertakes to provide to Super Micro Computer, Inc., any security holder of Super Micro Computer, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price. |
| 6 | Common | Common Stock | 2023-11-10 | M | A | 732 | — | 7,623 | D | — | — | (F2) Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. |
| 7 | Derivative | Employee Stock Option (right to buy) | 2023-11-09 | M | D | 2,972 | $0.00 | 0 | D | $13.00 · — to 2028-10-30 | 2,972 Common Stock | (F3) This stock option is fully vested and exercisable. |
| 8 | Derivative | Restricted Stock Units | 2023-11-10 | M | D | 152 | $0.00 | 608 | D | — · — to — | 152 Common Stock | (F2) Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. (F4) Subject to the Reporting Person's continued service to the Issuer, the restricted stock units vest at the rate of 25% of the total number of units on November 10, 2021 and 1/16th at the end of each successive calendar quarter thereafter. Vested units are settled in shares of SMCI common stock. |
| 9 | Derivative | Restricted Stock Units | 2023-11-10 | M | D | 732 | $0.00 | 2,198 | D | — · — to — | 732 Common Stock | (F2) Each restricted stock unit represents a contingent right to receive one share of SMCI common stock. (F5) Subject to the Reporting Person's continued service to the Issuer, the restricted stock units vest at the rate of 25% of the total number of units on November 10, 2023 and 1/16th at the end of each successive calendar quarter thereafter. Vested units are settled in shares of SMCI common stock. |